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Anthony Vultaggio, Jr. Broker Investigation

Anthony Vultaggio, Jr. Broker Investigation, featured by Top Securities Fraud Attorneys, The White Law Group

Financial Advisor Anthony Vultaggio, Jr., American Capital Partners in East Meadow, NY

Are you concerned about investments with Anthony Vultaggio, Jr. in East Meadow, NY? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim.

According to public records on FINRA’s website, the regulator reportedly barred Vultaggio from working in the securities industry after he allegedly refused to produce information and documents requested by FINRA during the course of an investigation into allegations that “he refused to appear for FINRA requested on-the-record testimony during the course of an examination into his potential undisclosed offering of securities through an undisclosed outside business without prior notice to or consent from his member firm.”

According to his FINRA BrokerCheck report, Vultaggio was reportedly affiliated with American Capital Partners in East Meadow, NY for 10 years.

There is one pending customer complaint reportedly indicated by his broker report from August 2019, alleging FINRA rules violation involving “a private placement that was neither related nor connected to the Firm.” The damage amount requested in the complaint is reportedly $700,000.

Investigating Potential Lawsuits

The White Law Group is investigating the liability that Vultaggio’s former employer, American Capital Partners may have for his actions in regards to his outside business activities.

When a FINRA registered representative conducts business outside the scope of the brokerage firm where they are registered, the act can be considered “selling away.”

Some brokers, looking to supplement their income, will go outside the traditional market, trying to find other products to push.

If a registered broker “sells away” from their firm, the brokerage firm may still be liable for negligent supervision of their broker representative and may be responsible for investment losses in a FINRA dispute resolution claim.

The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Franklin, Tennessee.

We represent investors in FINRA arbitration claims in all 50 states, including New York. Our attorneys have recovered millions of dollars from many brokerage firms in the past.

If you are concerned about your investments with Anthony Vultaggio Jr., please call the securities fraud attorneys at The White Law Group at 888-637-5510 for a free consultation.

For more information on The White Law Group, and its representation of investors, please visit www.WhiteSecuritiesLaw.com.



Tags: , , , , , , , , Last modified: December 19, 2022